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In the Government's Service: a Study of the Role and Practice of Early China's Officials Based on Caex Vated Manuscripts

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In the Government's Service: a Study of the Role and Practice of Early China's Officials Based on Caex Vated Manuscripts University of Pennsylvania ScholarlyCommons Publicly Accessible Penn Dissertations 2013 In the Government's Service: A Study of the Role and Practice of Early China's Officials Based on caEx vated Manuscripts Daniel Sungbin Sou University of Pennsylvania, [email protected] Follow this and additional works at: https://repository.upenn.edu/edissertations Part of the Asian History Commons, and the Asian Studies Commons Recommended Citation Sou, Daniel Sungbin, "In the Government's Service: A Study of the Role and Practice of Early China's Officials Based on caEx vated Manuscripts" (2013). Publicly Accessible Penn Dissertations. 804. https://repository.upenn.edu/edissertations/804 This paper is posted at ScholarlyCommons. https://repository.upenn.edu/edissertations/804 For more information, please contact [email protected]. In the Government's Service: A Study of the Role and Practice of Early China's Officials Based on caEx vated Manuscripts Abstract The aim of this dissertation is to examine the practices of local officials serving in the Chu and Qin centralized governments during the late Warring States period, with particular interest in relevant excavated texts. The recent discoveries of Warring States slips have provided scholars with new information about how local offices operated and functioned as a crucial organ of the centralized state. Among the many excavated texts, I mainly focus on those found in Baoshan, Shuihudi, Fangmatan, Liye, and the one held by the Yuelu Academy. Much attention is given to the function of districts and their officials in the Chu and Qin vgo ernments as they supervised and operated as a base unit: deciding judicial matters, managing governmental materials and products, and controlling the population, who were the source of military and labor service. Administrative law was the main device for managing officials, but Qin ybooksda suggest that mantic texts were used as a political device to support governmental daily activities. Additionally, I argue that the Qin government systematically required its officials to internalize certain values that restricted and guided their mindset and activities on behalf of the government. By focusing on excavated materials, I demonstrate that local offices, especially the district, served as a core organ in sustaining the entire local government and channeling the central authority. I conclude that only in understanding the role of local government are we are able to draw the entire picture of the ruler- centered state that emerged and developed during the Warring States period. Degree Type Dissertation Degree Name Doctor of Philosophy (PhD) Graduate Group East Asian Languages & Civilizations First Advisor Paul R. Goldin Keywords daybook, early China, Excavated manuscripts, Liye, Qin law, Shuihudi Subject Categories Asian History | Asian Studies This dissertation is available at ScholarlyCommons: https://repository.upenn.edu/edissertations/804 ACKNOWLEDGMENTS The completion of this dissertation is a testament to the support and encouragement of many mentors, colleagues, and family members, and I would like to express my deepest appreciation to all of them. I thank Paul Goldin, my advisor at the University of Pennsylvania, for his long-term support, insight, encouragement, and patience in guiding me through my doctoral program. He is truly the one who awakened my interest in excavated texts and broadened my understanding of early China. Yuri Pines from the University of Jerusalem, another valuable mentor, always offered generous support and insight, beyond what I could have expected. And Luo Xinhui from Beijing Normal University provided lots of advice and insight about my academic and personal life. I also extend my appreciation to the wonderful scholars I met at Penn, Victor Mair and Nancy Steinhardt, who shared their enthusiasm and scholastic interests that directly and indirectly affected my perspective and life. I also thank my Penn colleagues Jonathan Smith, Ori Tavor, Soon-Ja Yang, and Zhao Lu, who encouraged and pushed each other to the finish line of graduate school. I will never forget the talks, discussions, and meals we had. And I also should thank Matthew Horton, who helped me polish my writing and gave me advice when I hit a wall. And my last and most grateful thanks go to my family. Both my parents and parents- in-law have not only been patient all of these years but also provided so much encouragement, prayer, and wisdom. I will never forget what I have learned from all of you. And to my wife, Seok-Mi Lee—there are millions of words to express my heart, but ii now I cannot even find one word or phrase to describe how thankful I am. I could only finish this dissertation because of your wonderful smile and love. iii ABSTRACT IN THE GOVERNMENT’S SERVICE: A STUDY OF THE ROLE AND PRACTICE OF EARLY CHINA’S OFFICIALS BASED ON EXCAVATED MANUSCRIPTS Daniel Sou Paul R. Goldin The aim of this dissertation is to examine the practices of local officials serving in the Chu and Qin centralized governments during the late Warring States period, with particular interest in relevant excavated texts. The recent discoveries of Warring States slips have provided scholars with new information about how local offices operated and functioned as a crucial organ of the centralized state. Among the many excavated texts, I mainly focus on those found in Baoshan, Shuihudi, Fangmatan, Liye, and the one held by the Yuelu Academy. Much attention is given to the function of districts and their officials in the Chu and Qin governments as they supervised and operated as a base unit: deciding judicial matters, managing governmental materials and products, and controlling the population, who were the source of military and labor service. Administrative law was the main device for managing officials, but Qin daybooks suggest that mantic texts were used as a political device to support governmental daily activities. Additionally, I argue that the Qin government systematically required its officials to internalize certain values that restricted and guided their mindset and activities on behalf of the government. iv By focusing on excavated materials, I demonstrate that local offices, especially the district, served as a core organ in sustaining the entire local government and channeling the central authority. I conclude that only in understanding the role of local government are we are able to draw the entire picture of the ruler-centered state that emerged and developed during the Warring States period. v TABLE OF CONTENTS Chapter One: Introduction ………………………………………………………………. 1 1. Archaeological context of excavated Chu and Qin slips ………………...…………… 6 1) Baoshan M1 Chu tomb …………………..…………………………...…..……….. 6 2) Shuihudi M11 Qin tomb ………………..………………………………….……… 8 3) Zhoujiatai M30 Qin tomb ……………….………………………….……………. 10 4) Fangmatan M1 tomb ……………….……………………………….……………. 12 5) Liye J1 well ……………….…………………………………………….………... 14 6) Yuelu shuyuan Qin slips ……………………………….………….………...…… 17 2. Scholarship on the Chu and Qin slips ……………………………….…….………… 18 1) Paleography, Textual Annotation, and Translation …………...……..……….….. 18 2) Administration and centralization ……………………….……….………………. 23 3) Daybooks, regional culture, and religion …………….………….……………….. 32 3. Organization of the dissertation …………….………………….……………………. 35 Chapter Two: Centralizing the local governments of the Chu state ……………..….…. 39 1. Structural divisions of local government in the Chu state …….…….………………. 41 1) District-based local administration .…………………………….………………... 43 2) Relationship between cantons and districts ….……………….………………….. 48 2. Economic privileges of officials and lords …….…………………………….……… 51 1) Beneficed lands and property rights …………………….…………….…………. 51 2) Trading privileges of Qi, Lord of E …………………….…………….………….. 59 3. Judicial practice in local government ……………….……….……………………… 62 1) Accusation and investigation …………………….……………………….……… 63 2) Issuing warrants and collective responsibility ………………………………..….. 66 3) Meng and testimony …………………………….………………………….…….. 69 4) Central authority granting petition for a review …………………………….…… 77 vi Short conclusion ………….………………………………………………....……....…. 80 Chapter Three: The Qin government centralizing resources ……….....................…….. 82 1. Protecting and processing natural resources ………….……………….…………….. 83 1) Protecting nature ……….……………………………………………….………... 84 2) Extracting and processing natural resources ……….…………….………………. 86 2. Managing government resources and quality …………………….…………………. 90 1) Iron and bronze products …………………………………….…………………... 90 2) Agricultural products and resource …………….………………………………… 94 3) Government boats ………………………………………………….…………….. 97 4) Control of artisans and workshops ……….……………………………………… 98 3. Role and function of governmental offices ………………….……………………. 100 1) The Ministry of Finance (neishi 內史) ………………….…………………..….. 100 2) The Main Treasury (danei 大內) and the Great Granary (dacang 大倉) …….… 104 3) Understanding duguan 都官 …………………………………………….……… 110 Short conclusion ……………………………………………………….…………….... 116 Chapter Four: Control of the Population …………………………………..…………. 117 1. “Households” in Qin slips …………………………………….……………………. 118 1) Meaning of household and hu 戶 ………………………….……………………. 118 2) Households as government resource …………………………………………… 122 2. Liye household registers …………………………………………....……………… 124 1) J1 and K11 household records and registers …………….……………………… 125 2) Explanation of K11 household registers …………….………………………….. 129 3. Regulations on households …………………………………………………………
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